Nicholas Randall Rhode (CRD#7290577) and BAKER TILLY CAPITAL, LLC

We can help you recover investment losses

Any previous customer complaints are made publicly available by FINRA. Reviewing these reports can help investors understand the regulatory history of their financial professionals.

Did you lose money on investments recommended by this financial advisor? Our legal team is available to speak with customers regarding potential claims for recovery. A review of their professional history shows the following Previously Reported Complaints:

Claim(s) Made Against Nicholas Randall Rhode:

Claim Date: 10/6/2025

“The claimant invested in a private placement 12/30/2020 and now claims that the firm failed to perform adequate due diligence of the private placement.”

This claim, as of this posting, is currently Pending with a claim amount of $200,000.00 .

See more information on FINRA’s BrokerCheck site for Nicholas Randall Rhode.

Were you a customer of Nicholas Randall Rhode?

If you were a client of Nicholas Randall Rhode and BAKER TILLY CAPITAL, LLC from AUSTIN, TX and had lost money in your account that does not seem right, we are interested in discussing the possibility of pursuing a claim on your behalf. (The value of having a lawyer look at your claim is discussed more thoroughly in our video, Do I need a lawyer for my FINRA arbitration?.) Brokerage firms are responsible for overseeing the actions of their registered representatives and must ensure that their financial advisors comply with all relevant regulations and company policies. The brokerage firm may be held liable for any investment losses suffered by customers due to their failure to properly supervise their agents, such as Nicholas Randall Rhode. The Securities Lawyers at Halling & Cayo, S.C. have helped investors recover millions of dollars in the past.

The investment recovery lawyers at Halling & Cayo S.C. bring claims on behalf of individual investors or groups of investors who have lost funds. Most of these customers have signed FINRA arbitration agreements that outline the process for resolving disputes, including claims for investment loss recovery. (See our discussion of FINRA in our video, Is FINRA a good thing?.) As the SEC advises, it is important to find an attorney who has experience handling securities complaints. If you were a customer of Nicholas Randall Rhode and BAKER TILLY CAPITAL, LLC and experienced investment losses, please get in touch with the Securities Lawyers. We only receive payment if we can recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to contact an attorney as soon as possible.
Learn about potential claims for investment recovery, Types of Broker Misconduct and Fraud , or about the FINRA arbitration process, Guide to the FINRA Arbitration Process .

Contact The Securities Lawyers

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Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.

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